Showing 331 to 340 of 452 search results for our enforcement.

331. Nothing to fear from high standards

     Speeches Published: 16/03/2015 Last modified: 03/11/2016
     Speech by Martin Wheatley, Chief Executive of the FCA, delivered at Bloomberg. This is the text of the speech as drafted, which may differ from the delivered version.

332. Financial Conduct Authority confirms approach to improving responsibility and accountability in the banking sector

     Press Releases Published: 16/03/2015 Last modified: 16/03/2015
     fitness and propriety (by firms as well as by regulators) and strengthened powers of approval and enforcement for the regulators. ... 1. In finalising the rules we will seek to make sure that we achieve our aim of applying the Conduct Rules to all

333. FCA fines and prohibits Mr Stephen Bell, former director of network Financial Group, from performing compliance oversight function

     Press Releases Published: 13/03/2015 Last modified: 13/03/2015
     Georgina Philippou, the FCA’s acting director of enforcement and market oversight Division, said:. ... The Principal takes full responsibility for ensuring that the AR complies with our rules.

334. Consumer Credit and the FCA: one year on

     Speeches Published: 11/03/2015 Last modified: 11/03/2015
     But is also, at least in part, a product of a world that is continually stress testing our collective ability to delay purchasing gratification. ... And certainly, there has to an approach that goes beyond ex-post enforcement action, otherwise you simply

335. Former Group Treasurer and Head of Tax at Morrisons plc sentenced to 12 months imprisonment for insider dealing

     Press Releases Published: 03/03/2015 Last modified: 05/04/2023
     Paul Coyle, the former Group Treasurer and Head of Tax at Wm Morrison Supermarkets plc, pleaded guilty to two counts of insider dealing and has been sentenced to 12 months imprisonment. He was also ordered to pay £15,000 towards prosecution costs

336. The regulatory challenge

     Speeches Published: 23/02/2015 Last modified: 24/02/2015
     By making our expectations clear we enable those firms that wish to do so, to do the right thing. ... Yet, despite this, as our most recent thematic review in this area shows, alongside a number of enforcement cases here and overseas, firms are still

337. Compensation package agreed for consumers sold card security products

     Press Releases Published: 27/01/2015 Last modified: 28/01/2015
     No FCA enforcement action has been taken against Affinion or any of the banks or credit card issuers. ... You can find more information about the FCA, as well as how it is different to the PRA, on our website.

338. The retrospective application of rules: feedback on the call for examples

     News stories Published: 22/01/2015 Last modified: 19/11/2021
     We asked firms to provide examples of the retrospective application of regulatory rules

339. Unauthorised Forex Investment Fraudster Convicted

     Press Releases Published: 09/01/2015 Last modified: 09/01/2015
     Georgina Philippou, Acting Director of Enforcement and Market Oversight at the FCA, said of the conviction:. ... Securing the conviction of Hope demonstrates the FCA’s commitment to achieving our objectives of protecting consumers and enhancing the

340. FCA to regulate seven additional financial benchmarks

     Press Releases Published: 22/12/2014 Last modified: 04/11/2019
     The Financial Conduct Authority (FCA) will regulate seven additional major UK-based financial benchmarks in the fixed income, commodity and currency markets from 1 April 2015. This extends the FCA’s initial regulation of LIBOR (the London